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Odeta D. Tolliver

DWM FINANCE
STAMFORD, CT 06902
CRD#: 6006563
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OT
Odeta Dana TolliverDWM FINANCE

Professional summary

Odeta Dana Tolliver, who also goes by Odeta Dana Daineanu, Odeta Dana Smarandescu, is a registered financial professional currently at DWM FINANCE LLC located in Stamford, Connecticut.

Odeta is registered as a RR (Registered Representative) and started their career in finance in 2015. Odeta has worked at 1 firm and has passed the SIE and Series 99 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Odeta Dana Daineanu | Odeta Dana Smarandescu

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Odeta Dana Tolliver's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 17, 2015 - Present

DWM FINANCE LLC

Office #1: 100 First Stamford Place 4th Floor Suite 450, Stamford, CT 06902Office #2: 100 First Stamford Place 4th Floor Suite 450, Stamford, CT 06902
BD
CRD#: 137513
STAMFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 6/17/2015
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

DF
DWM FINANCE LLC
DWM FINANCE LLC

CRD#: 137513 / SEC#: , 8-67091

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
100 First Stamford Place 4th Floor Suite 450, Stamford, CT 06902
Mailing Address
100 First Stamford Place 4th Floor Suite 450, Stamford, CT 06902
Phone number
(203) 655-5453
Established
Connecticut since 03/30/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
DWM HOLDINGS LLCOWNER
ARORA, VRINDAFINOP7784034
HARRIS, PATRICK EUGENECCO5748909
JOHNSON, PETER HALLOCKMEMBER4920382

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

DWM FINANCE LLC

CRD#: 137513Stamford, CT 06902

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